DFX Intelligence
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F•••••• L•• C•••••••
As of · the IAPD feed; also filed as F•••• L•• C••••••••• C•••••••
- At current firm
- 16 y
- In the industry
- 40 y
- Prior registered firms
- 4
- Signals
- 0
since Oct 5, 2009
As of · the IAPD feed; also filed as F•••• L•• C••••••••• C•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2009 · Fort Worth, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 15, 2009 to Oct 5, 2009 · Richardson, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jun 19, 2009 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 18, 2004 to Jan 2, 2009 · Fort Worth, Tx
- W•••• F•••• A••••••• wirehouseApr 26, 2001 to Apr 28, 2004 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• A•••••• S•••••••• I•••left Jun 19, 2009, registered Jul 15, 2009 (26 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Apr 28, 2004, registered Oct 18, 2004 (173 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address